|
|
Comments on Proposed Rule on Consolidated Audit Trail
[Release No. 34-62174; File No. S7-11-10]
|
(Click here for meetings with SEC officials)
|
Mar. 14, 2012 | Dr. Gil Van Bokkelen Chairman & CEO, Athersys, Inc. |
Mar. 7, 2012 | Jennifer Setzenfand, Chairman, and James A. Toes, President and CEO, Security Traders Association, New York, New York |
Mar. 2, 2012 | Manisha Kimmel, Executive Director, Financial Information Forum |
Feb. 22, 2012 | John M. Damgard, President, Futures Industry Association, Washington, District of Columbia |
Feb. 7, 2012 | James T. McHale, Managing Director and Associate General Counsel, SIFMA |
Nov. 29, 2011 | Geraldine M. Lettieri, New York, New York |
Nov. 18, 2011 | Joan C. Conley, Senior Vice President, The NASDAQ OMX Group, Inc., Rockville, Maryland |
May 9, 2011 | Charles Schumer, United States Senator |
Apr. 6, 2011 | Richard G. Ketchum, Chairman and Chief Executive Officer, FINRA |
Apr. 6, 2011 | Michael Belanger, President, Jarg Corporation; Joseph Carrabis, CRO and Founder, NextStage Evolution; Wayne Ginion, Vice President, Enterprise Infrastructure Services, New York Times Company; David Morf, Partner, Senior Regional Economics Advisor, and Founding Member, Center for Adaptive Solutions |
Mar. 30, 2011 | Michael Belanger, President, Jarg Corporation; Joseph Carrabis, CRO and Founder, NextStage Evolution; Wayne Ginion, Vice President, Enterprise Infrastructure Services, New York Times Company; David Morf, Partner, Senior Regional Economics Advisor, and Founding Member, Center for Adaptive Solutions |
Feb. 4, 2011 | Dan K. Connell, CEO, New York, New York |
Feb. 9, 2011 | Richard A. Ross, Founder, High Speed Analytics, Weston, Connecticut |
Jan. 12, 2011 | James T. McHale, Managing Director and Associate General Counsel, SIFMA |
Dec. 6, 2010 | Richard A. Ross, Weston, Connecticut |
Nov. 24, 2010 | Bonnie K. Wachtel, Wachtel & Co., Inc, Washington, District of Columbia |
Nov. 24, 2010 | Terry Keene, Chief Executive Officer, Integration Systems LLC |
Aug. 30, 2010 | Mike Riley, CEO, Endace Technology Ltd., Auckland, New Zealand |
Aug. 17, 2010 | James T. McHale, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association |
Aug. 15, 2010 | Patrick J. Healy, CEO, Issuer Advisory Group LLC, Chevy Chase, Maryland |
Aug. 5, 2010 | Sen. Edward E. Kaufman, United States Senate |
Aug. 12, 2010 | Joan Conley, Corporate Secretary, The NASDAQ OMX Group, Inc., Rockville, Maryland |
Aug. 12, 2010 | Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York |
Aug. 12, 2010 | John Harris, Chief Executive Officer, BondMart Technologies, Inc., Millington, New Jersey |
Aug. 11, 2010 | Edward J. Joyce, President and Chief Operating Officer, Chicago Board Options Exchange, Chicago, Illinois |
Aug. 11, 2010 | Jose Manso, EVP, Sales & Marketing, Middle Office Solutions LLC |
Aug. 11, 2010 | Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc. |
Aug. 10, 2010 | Michael Erlanger, Managing Principal, Marketcore, Inc. |
Aug. 10, 2010 | John McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois |
Aug. 9, 2010 | Ted Myerson, Doug Kittelsen, and M. Gary LaFever, FTEN, Inc. |
Aug. 9, 2010 | James J. Angel, Ph.D., CFA, Associate Professor of Finance, McDonough School of Business, Georgetown University, Washington D.C. |
Aug. 9, 2010 | Karrie McMillan, General Counsel, Investment Company Institute |
Aug. 9, 2010 | Christopher Nagy, Managing Director, Order Strategy,
Co-Head, Government Relations, and John Markle, Deputy General Counsel, Co-Head Government Relations, TD AMERITRADE, Inc. |
Aug. 9, 2010 | Marcia Asquith, Senior Vice President and Corporate Secretary, FINRA, Washington, District of Columbia |
Aug. 9, 2010 | Peter A. Bloniarz, George Berg, and Sandor P. Schuman, University at Albany/SUNY, Albany, New York |
Aug. 9, 2010 | Marcia Asquith and Janet Kissane, Joint Letter from FINRA, NYSE, NYSE Arca and NYSE Amex, Washington, District of Columbia |
Aug. 9, 2010 | Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors |
Aug. 9, 2010 | Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association |
Aug. 9, 2010 | Andrew Small, General Counsel, Scottrade, Inc. |
Aug. 9, 2010 | Eric Swanson, General Counsel, BATS Exchange, Inc., Lenexa, Kansas |
Aug. 9, 2010 | Devin Wenig, Chief Executive Officer, Market Division, Thomson Reuters |
Aug. 9, 2010 | Jon Feigelson, Senior Vice President, General Counsel & Head of Corporate Governance, TIAA-CREF Individual & Institutional Services, LLC |
Aug. 9, 2010 | Charlie J. Marchesani, President, Securities Processing Solutions U.S., Broadridge Financial Solutions, Inc. |
Aug. 9, 2010 | Anthony D. McCormick, Chief Executive Officer, Boston Options Exchange, Group LLC |
Aug. 9, 2010 | Mahesh Kumaraguru, FIXProtocol Java programmer, Stamford, Connecticut |
Aug. 9, 2010 | Eric W. Hess, Esq., General Counsel, Direct Edge, Jersey City, New Jersey |
Aug. 9, 2010 | Dror Segal and Lou Pizzo, Mansfield Consulting, LLC, New York, New York |
Aug. 8, 2010 | Horst Simon, Ph.D and David Leinweber, Ph.D., Lawrence Berkeley National Laboratory, Berkeley, California |
Aug. 6, 2010 | R. T. Leuchtkafer |
Aug. 5, 2010 | Courtney D. McGuinn, Operations Director, FIX Protocol Ltd., New York, New York |
Aug. 3, 2010 | Justin S. Magruder, President, Noetic Partners, Inc. |
Jul. 28, 2010 | Martin Koopman, Director, Aditat, New York, New York |
Jul. 22, 2010 | Justin S. Magruder, President, Noetic Partners, Inc. |
Jul. 19, 2010 | Howard Meyerson, General Counsel, and Vlad Khandros, Market Structure and Public Policy Analyst, Liquidnet, New York, New York |
Jul. 8, 2010 | Sam Balabon, CEO, Deep Liquidity, Inc., Austin, Texas |
Jun. 16, 2010 | John McCrary |
Jun. 11, 2010 | Clyde C. Grady, II, Jacksonville, Arkansas |
Jun. 9, 2010 | Ning Wen, Sales Director, Know More Software, Inc. |
Jun. 7, 2010 | Simhan Mandyam, MS,MPM, Managing Partner, Triage Life Sciences LLC, Camarillo, California |
Jun. 6, 2010 | Nicos K. Anastasopoulos, New York, New York |
Jun. 5, 2010 | Dan T. Nguyen, Wealth Management Company, Wausau, Wisconsin |
Jun. 4, 2010 | Alexander A. Kondracki |
Jun. 1, 2010 | Chandler Green |
May 28, 2010 | Paul Drescher, Registered Principal, Foothill Securities, Inc., Soquel, California |
May 28, 2010 | Steve H. Ericson, Tampa, Florida |
May 26, 2010 | Norris W. Beach, Illinois |
May 26, 2010 | Steven Vannelli |
May 20, 2010 | Rep. Melissa L. Bean, U.S. House of Representatives |
Meetings with SEC Officials
(Click here for submitted comments from the public) |
Apr. 18, 2012 | Memorandum from the Office of Commissioner Walter regarding a February 1, 2012 meeting with representatives of Direct Edge |
Apr. 18, 2012 | Memorandum from the Office of Commissioner Walter regarding a February 29, 2012 meeting with representatives of Security Traders Association and the Financial Information Forum |
Apr. 17, 2012 | Memorandum from the Division of Trading and Markets regarding January 23, 2012 and February 29, 2012 telephone conferences with representatives of FINRA |
Feb. 29, 2012 | Memorandum from the Division of Trading and Markets regarding a February 29, 2012, meeting with representatives of the Financial Information Forum |
Feb. 2, 2012 | Memorandum from the Office of the Chairman regarding a February 1, 2012, meeting with representatives of Direct Edge |
Feb. 2, 2012 | Memorandum from the Office of Commissioner Aguilar regarding a February 1, 2012, meeting with representatives of Direct Edge |
Jan. 20, 2012 | Memorandum from the Division of Trading and Markets regarding a January 20, 2012, meeting with representatives of the Securities Industry and Financial Markets Association |
Jan. 12, 2012 | Memorandum from the Office of the Chairman regarding a January 12, 2012, meeting with representatives of the Chicago Board Options Exchange |
Dec. 5, 2011 | Memorandum from the Division of Trading and Markets regarding a telephone conference with a representative of the Securities Industry and Financial Markets Association |
Dec. 2, 2011 | Memorandum from the Division of Trading and Markets regarding a November 7, 2011, telephone conference with a representative of FINRA |
Nov. 16, 2011 | Memorandum from the Office of Commissioner Walter regarding a November 16, 2011, meeting and conference call with representatives of the Securities Industry and Financial Markets Association |
Nov. 8, 2011 | Memorandum from the Division of Risk, Strategy and Financial Innovation regarding a November 1, 2011, meeting with representatives of the Securities Industry and Financial Markets Association and JP Morgan Chase & Co. |
Nov. 1, 2011 | Memorandum from the Office of the Chairman regarding a November 1, 2011, meeting with representatives of SIFMA |
Oct. 25, 2011 | Memorandum from the Division of Trading and Markets regarding an October 20, 2011, telephone conference with representatives of FINRA |
Aug. 1, 2011 | Memorandum from the Office of Commissioner Paredes regarding an August 1, 2011, meeting with representatives of FINRA |
Jul. 12, 2011 | Memorandum from the Office of Commissioner Paredes regarding a July 12, 2011, telephonic meeting with representatives of SIFMA |
Jun. 30, 2011 | Memorandum from the Office of Commissioner Paredes regarding a June 30, 2011, telephonic meeting with representatives of FINRA |
May 19, 2011 | Memorandum from the Division of Trading and Markets regarding a May 3, 2011, meeting with representatives of FINRA |
Mar. 9, 2011 | Memorandum from the Division of Trading and Markets regarding a March 9, 2011, meeting with representatives of Correlix, Inc. |
Jan. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a January 14, 2011, meeting with representatives of Citadel |
Jan. 26, 2011 | Memorandum from the Division of Trading and Markets regarding a January 7, 2011, meeting with representatives of Ameritrade |
Jan. 12, 2011 | Memorandum from the Division of Trading and Markets regarding a January 11, 2011, telephonic conference call with representatives of Nasdaq OMX Group, Inc. |
Jan. 6, 2011 | Memorandum from the Division of Trading and Markets regarding a January 6, 2011, meeting with representatives of Thomson Reuters |
Dec. 21, 2010 | Memorandum from the Office of Commissioner Walter regarding a November 1, 2010, meeting with representatives of FINRA |
Dec. 21, 2010 | Memorandum from the Division of Trading and Markets regarding a December 21, 2010 telephone conference with representatives of Nasdaq OMX Group, Inc. |
Dec. 21, 2010 | Memorandum from the Division of Trading and Markets regarding a December 21, 2010 telephone conference with representatives of Morgan Stanley |
Dec. 21, 2010 | Memorandum from the Division of Trading and Markets regarding a December 21, 2010 telephone conference with representatives of BATS Exchange, Inc. |
Dec. 14, 2010 | Memorandum from the Office of Commissioner Elisse B. Walter regarding a November 30, 2010 meeting with representatives of TD Ameritrade |
Dec. 13, 2010 | Memorandum from the Division of Trading and Markets regarding a December 13, 2010 telephonic conference call with Rajendra Pradhan |
Nov. 1, 2010 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a November 1, 2010 meeting with representatives of FINRA |
Oct. 20, 2010 | Memorandum from the Division of Trading and Markets regarding a meeting with representatives of the Securities Industry and Financial Markets Association |
Oct. 13, 2010 | Memorandum from the Office of Commissioner Walter regarding a October 4, 2010, meeting with representatives of the Investment Company Institute |
Oct. 5, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a September 30, 2010, meeting with representatives of the Nasdaq OMX Group and SMARTS Group, Inc. |
Oct. 1, 2010 | Memorandum from the Office of Commissioner Walter regarding an October 1, 2010, meeting with representatives of Nasdaq OMX |
Sep. 30, 2010 | Memorandum from the Division of Trading and Markets regarding a September 30, 2010, meeting with representatives of Nasdaq OMX |
Sep. 27, 2010 | Memorandum from the Division of Enforcement regarding a September 14, 2010, telephonic conference call with representatives of the Technology Subgroup of the Intermarket Surveillance Group |
Jul. 29, 2010 | Memorandum from the Division of Trading and Markets regarding a July 29, 2010, meeting with representatives of FTEN, Inc. |
Jul. 28, 2010 | Memorandum from the Division of Trading and Markets regarding a July 28, 2010, meeting with representatives of the SIFMA Equity Options Trading Committee |
Jul. 27, 2010 | Memorandum from the Division of Trading and Markets regarding a July 27, 2010, meeting with Noetic Partners, XtremeData, Greener & Hook, and Gorman & Associates |
Jul. 26, 2010 | Memorandum from the Office of Commissioner Luis A. Aguilar regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch |
Jul. 19, 2010 | Memorandum from the Office of Commissioner Paredes regarding a July 19, 2010, meeting with representatives of Bank of America |
Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 8, 2010, meeting with representatives of Headlands Technologies LLC |
Jul. 19, 2010 | Memorandum from the Office of Commissioner Walter regarding a July 19, 2010, meeting with representatives of Bank of America Merrill Lynch |
Jul. 16, 2010 | Memorandum from the Division of Trading and Markets regarding a July 16, 2010, meeting with representatives from Broadridge Financial Solutions, Inc. |
Jun. 28, 2010 | Memorandum from the Office of the Chairman regarding a June 24, 2010, meeting with representatives of Virtu Financial LLC |
Jun. 21, 2010 | Memorandum from the Office of Commissioner Aguilar regarding a June 17, 2010, telephone call with a representative of Southeastern Asset Management |
Jun. 10, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 10, 2010, meeting with representatives of NYSE Euronext |
Jun. 9, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of BNY ConvergEx Group |
Jun. 9, 2010 | Memorandum from the Office of Commissioner Paredes regarding a June 9, 2010, meeting with representatives of Southeastern Asset Management, Inc. |
Jun. 9, 2010 | Memorandum from the Office of Commissioner Troy A. Paredes regarding a June 9, 2010, meeting with representatives of Direct Edge |
http://www.sec.gov/comments/s7-11-10/s71110.shtml
|